SS
Samir H. Sheth
FAS
Leawood, KS 66224
Some features on this profile are disabled
CRD#: 2511571
SS
Professional summary
Samir Harshad Sheth is a registered financial professional currently at FAS CORP. located in Leawood, Kansas.
Samir is registered as a RR (Registered Representative) and started their career in finance in 1994. Samir has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Samir Harshad Sheth's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
September 1, 2009 - Present
FAS CORP.
Office #1: 4747 West 135th Street, Suite 100, Leawood, KS 66224BD
CRD#: 43536
Leawood, KS
Past
January 18, 2008 - September 3, 2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
LOS ANGELES, CA
Past
April 26, 2001 - December 31, 2007
CLARK SECURITIES, INC.
BD
CRD#: 43803
LOS ANGELES, CA
Past
August 28, 1996 - April 26, 2001
WESTPORT FINANCIAL SERVICES, L.L.C.
BD
CRD#: 38449
JACKSONVILLE, FL
Past
March 1, 1996 - September 3, 1996
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
October 25, 1994 - March 1, 1996
G. R. PHELPS & CO., INC.
BD
CRD#: 173
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alaska(2/13/2013)
RR
Arizona(9/1/2009)
RR
California(1/6/2014)
RR
Colorado(1/10/2014)
RR
Connecticut(9/1/2009)
RR
Delaware(9/1/2009)
RR
Florida(1/3/2022)
RR
Georgia(1/7/2014)
RR
Illinois(9/1/2009)
RR
Indiana(11/27/2013)
RR
Kansas(5/30/2013)
RR
Maryland(5/30/2013)
RR
Massachusetts(5/30/2013)
RR
Michigan(5/30/2013)
RR
Minnesota(9/1/2009)
RR
Missouri(11/27/2017)
RR
New Jersey(9/1/2009)
RR
New York(9/1/2009)
RR
North Carolina(4/1/2013)
RR
Ohio(1/8/2014)
RR
Oregon(1/30/2014)
RR
South Carolina(1/16/2024)
RR
Texas(9/1/2009)
RR
Utah(1/6/2014)
RR
Virginia(1/16/2024)
RR
Washington(1/4/2016)
RR
Wisconsin(5/30/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FC
FAS CORP.
AFAS CORP. | TFAS CORP. | NYFAS CORP. | MFAS CORP. | FFAS CORP. | FAS CORP.
CRD#: 43536 / SEC#: , 8-50307
BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
4747 West 135th Street, Suite 100, Leawood, KS 66224
Mailing Address
4747 W 135 Street, Suite 100, Leawood, KS 66224
Phone number
(913) 239-2300
Established
Kansas since 06/18/1997
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (43 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BARNES FAMILY REVOCABLE TRUST DATED AUGUST 16, 2013 | STOCKHOLDER | |
| JAMES G. DUSSOLD REVOCABLE TRUST DATED MAY 21, 1996 | STOCKHOLDER | |
| JOHN THOMAS MEIER REVOCABLE TRUST DATED NOVEMBER 11, 2015 | STOCKHOLDER | |
| AMEY, KEVIN PATRICK FISHER | STOCKHOLDER | 5611985 |
| MICHELLE HORTON LIVING TRUST DATED JUNE 19, 2006 | STOCKHOLDER | |
| O'GRADY, JORDAN MICHAEL | STOCKHOLDER | 6091943 |
| BARNES, ANNA | TRUSTEE AND GRANTOR OF BARNES FAMILY REVOCABLE TRUST DATED AUGUST 16, 2013 | 4722952 |
| BARNES, JACOB S | TRUSTEE AND GRANTOR OF BARNES FAMILY REVOCABLE TRUST DATED AUGUST 16, 2013 | 6079812 |
| DUSSOLD, JAMES GERARD | PRESIDENT, TREASURER, DIRECTOR, GRANTOR, TRUSTEE OF THE JAMES G. DUSSOLD REVOCABLE TRUST DATED MAY 21, 1996 | 1380347 |
| GLENN, JACQUELYN ELAYNE | CHIEF COMPLIANCE OFFICER | 2260863 |
| HORTON, BARNABAS D JR | TRUSTEE OF THE MICHELLE HORTON LIVING TRUST DATED JUNE 19, 2006 | |
| HORTON, MICHELLE | TRUSTEE AND GRANTOR OF MICHELLE HORTON LIVING TRUST | 7092037 |
| KRSTIC, MEGAN ASHLEY | AML OFFICER | |
| MEIER, JOHN ALAN | EXECUTIVE VICE PRESIDENT, SECRETARY | 2869160 |
| MEIER, JOHN T | GRANTOR AND TRUSTEE OF THE JOHN THOMAS MEIER REVOCABLE TRUST DATED NOVEMBER 11, 2015 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
FAS CORP.
CRD#: 43536Leawood, KS 66224TRUST BUT VERIFY
Monitor Samir Sheth
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
